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Auditing Deposit Products
(Presented By: Andy Zavoina)
 | WEBINAR TIME:
11:30AM - 1:30PM PT
12:30PM - 2:30PM MT
1:30PM - 3:30PM CT
2:30PM - 4:30PM ET |
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- Your examiners are coming. One of the first things they want to see is your audit reports and workpapers.
- Thankfully, you believe it will be a long time until your next exam. So instead of an exam, you are concerned about your monitoring program and interim audits.
- You are very concerned about reputational risk. Your board, management and you, all want to know that your procedures and systems are functioning as they are designed to. Statements are correct. Accruals are correct. Account ownership restrictions are correct.
You face one or more of these scenarios every day. You must know that your compliance program for deposit products is up to par and specifically that you test for compliance. You have to know that you complete a statistically sound sampling, encompass everything which needs to be reviewed on a risk management basis and that tweaks are made to processes and procedures to avoid problems.
Auditing between exams is like a moon shot, if you are off a quarter of a degree there isn't much variation in the first mile. But by the time you get to where the moon was supposed to be, you'll find that you have a dramatic variation on where you are, from where you are supposed to be.
Your audit program needs occasional "tweaking" to keep pace with regulatory changes, your strategic plan and your place in the market; that is, what you are actually doing on a daily basis. Developing, maintaining and redesigning your compliance audit program in a changing environment is vital today.
This webinar is designed to give you information that will help the new compliance professional as well as a seasoned one responsible for deposit products. We'll lay down preliminary steps to take, the actual auditing and the important follow-up steps to prevent recurrence. If you can't stop it from happening again, you haven't completed your work.
Our discussion will include:
Resources for free audit workpapers on Regs. D, Q, DD and more
How to know what the "hot" topics are in the world of violations
How to select a file sample that is numerically accurate and validates your work
How to get the most out of an audit of your compliance management program
Practical tools to assist you in your daily duties
Who and when to follow-up with and report to
About the speaker:
Mr. Andy Zavoina, CRCM, is a consultant with the Glia Group, best known for its involvement with BankersOnline.com.
Andy has been in finance and banking for 22 years. Over 20 years were with a holding company with two Central Texas community banks that had $534 million in assets, 89 branches spanning Texas and nearly 500 ATMs. After starting in loan workouts, Mr. Zavoina has been a consumer, commercial and real estate lender and managed those departments as well as being the banks first Webmaster. He was responsible for compliance- management, -auditing, and -training for both banks.
Andy is a past Chairman of the American Bankers Association's Compliance Executive Committee. He was the 2003 recipient of the American Bankers Association's Distinguished Service Award for his involvement and accomplishments in the field of regulatory compliance management. He currently serves on the Editorial Advisory Board for the ABA's Compliance Magazine, Compliance Action magazine, is a member of the ABA's Compliance School Board and is a BankersOnline Guru. He also served on the Texas Bankers Association's Compliance Committee.
He is a graduate of the ABA National Commercial Lending School, National Compliance and National Graduate Compliance School and is a Certified Regulatory Compliance Manager with the Institute of Certified Bankers. He has written numerous articles and lectured on compliance, the use of the Internet and technology as a tool, as well as compliance in cyberspace to local, state and national associations. Internet policies and other compliance related programs are made available on his personal Web site.
More information...
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888.229.8872